New Direction for NASD?

PUB. DATE

May 2007

SOURCE

Financial & Insurance Meetings;May/Jun2007, Vol. 43 Issue 3, p11

SOURCE TYPE

Trade Publication

DOC. TYPE

Article

ABSTRACT

The article highlights the statements of Mary Schapiro, chief executive officer (CEO) for NASD, regarding the vagueness of NASD guidelines on meetings and incentive practices of financial services firms at the Securities Industry and Financial Markets Association conference held in Phoenix, Arizona. She emphasizes that a principles-based approach to business entertainment has caused problems among NASD members.

ACCESSION #

25310981

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